UK and European Regulatory Filings Support

ICARA sits at the heart of the UK Investment Firm Prudential Regime and expands the focus beyond capital adequacy to potential harms, liquidity, recovery, and wind-down planning; it replaced the Internal Capital Adequacy Assessment Proces (ICAAP) for most MiFID investment firms in 2022. 

Visit our Prudential and Liquidity Risk page to discover our wider services to support ICARA, IFPR, and prudential reporting obligations.

MIF007 is the ICARA questionnaire return that is submitted annually via RegData, the FCA’s regulatory data submission platform. It captures governance approvals, threshold requirements, material risks, and winddown indicators.

Common returns include MIF001–MIF004, MIF006, MIF007, as well as FSA029/FSA030 plus FIN066–FIN067 for CPMIs—typically quarterly or aligned to firm classification and accounting periods.

Annex IV requires periodic reporting by Alternative Investment Fund Managers (AIFMs) and Alternative Investment Funds (AIFs) on exposures, leverage, risk profiles, and other key metrics. These reports must be submitted in the prescribed XML format to each relevant National Competent Authority, including the FCA in the UK.

When thresholds are crossed, holders notify the issuer and the FCA using TR 1 via the ESS portal, the FCA’s Electronic Submission System for regulatory filings. Specific data on voting rights and instruments is required.

It depends on your firm’s permissions and business activities.

Not all firms are required to submit REPCRIM. Historically, the requirement applied to certain sectors such as banks, insurers and asset managers. However, under PS21/4 the FCA expanded the scope of firms subject to REPCRIM reporting.

As a result, a wider range of firms must now submit REPCRIM annually within 60 business days of their Accounting Reference Date (ARD), including firms carrying on certain investment activities and, in some cases, firms involved in cryptoasset business.

You should check whether your firm falls within the FCA’s REPCRIM reporting population based on its permissions and regulated activities.

If you are unsure, check your firm’s RegData reporting schedule or confirm with Compliance.

Report disciplinary actions tied to Conduct Rules breaches annually via REP008. Significant breaches (or matters with serious regulatory impact) should be notified immediately under SUP 15.

Fee tariff data is used to calculate annual fees for the Financial Services Compensation Scheme (FSCS), the Financial Ombudsman Service (FOS), and the FCA. Complaints reporting follows the FCA’s Dispute Resolution: Complaints (DISP) rules, which require firms to report complaint volumes and outcomes on a twice‑yearly or annual basis, depending on permissions and revenue.

No. Requirements vary by national competent authority. ACA tailors submissions and validation to each regulator’s schema and portal.

We use structured workflows and automation for Annex IV and shareholder notifications, combined with human oversight for accuracy.

In the UK and EU, filings are submitted to the regulator responsible for your jurisdiction—called the national competent authority (NCA). For example, the FCA is the NCA in the UK, while other EU countries have their own regulators. ACA tailors each submission to meet the specific schema and portal requirements of the relevant NCA.

Yes. We provide end-to-end support for Senior Manager applications (Form A) and notifications when a Senior Manager ceases their role (Form C). This includes Statements of Responsibilities, fit & proper documentation, and submission through the FCA Connect system.

See our Senior Manager Obligations page for details on our wider SM&CR support.

Speak to a specialist today and let us handle the complexity for you.